The TAB Guide to Vacuum Tube Audio: Understanding and Building Tube Amps

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Chapter 1

An Overview of Vacuum Tube Audio Applications

The phrase high technology is perhaps one of the more overused descriptions in our technical vocabulary. It is a phrase generally reserved for the discussion of integrated circuits, fiber optics, satellite systems, computers, and handheld portable devices of many varieties. Very few people would associate high technology with vacuum tubes—except audio enthusiasts. Variously described as the tube sound, amplifiers built around vacuum tubes remain in demand for demanding consumers.

A number of projects are included in this book. Several of those projects—in finished form—are shown in Figure 1.1.

FIGURE 1.1 Some of the vacuum tube audio amplifier projects detailed in this book—in finished form.

The Evolution of Analog Audio

The use of solid-state technology in all manner of consumer audio devices has made possible the explosion of audio sources and options for consumers—at very attractive prices. It is difficult to imagine a world without personal entertainment devices—although it is sometimes tempting to do so. Whether the personalization of entertainment is a good thing or a not-so-good thing could be debated, probably at some length. It’s all academic, of course, since it is here.

Acknowledging up front that this is a book about technology, it is fair to point out that to the end user, audio—perhaps more than any other entertainment medium—is about preferences and real-life experiences. Audio has certain fundamental reference points—loudness, frequency response, noise, distortion, and so forth. It has another dimension as well, and that dimension is perception. With audio, the artist and/or producer has a wide and varied pallet with which to paint. There are few absolutes when it comes to audio perception. With video, on the other hand, absolutes abound. Viewers know that the grass should be green and the sky should be blue and people should look like ... people. Audio has the capacity for texture and subtlety, which frankly makes it more interesting.

Audio is, of course, more than music. However, music makes up a large part of what we consider audio and what consumers use the technologies of audio for. The social impact of audio (music) should not be underestimated. Music provides reference points for our lives. Most everybody can relate to hearing a song play and reflecting back to a particular event in their life—sometimes from the very distant past. This social aspect was probably more profound in the era of the 1950s through the 1970s when most listening to music was a group event focusing on a limited number of radio stations. When a new album was released by a given performer, most everyone in a particular age group heard it and reacted to it. For better or worse, this gave generations of listeners various reference points to which they can still relate. The revolution in personal entertainment devices has, to a large degree, diluted this group experience. Whether this is important to anybody remains to be seen.

It is easy to argue that consumer audio has been in a long march toward the lowest common denominator, focused on cost and size more than performance. Others may wish to debate that, but regardless, the manufacturers in this space have been giving consumers what they want. And it’s hard to argue with that. Still, for consumers who are looking for more than just convenience from their audio system, options are—thankfully—still readily available.

The author, like some percentage of readers of this book (perhaps a large percentage), grew up in the 1960s. With an interest in electronics, that meant also an interest in vacuum tubes. By 1970, consumer electronics manufacturers had moved in large measure to transistorized amplifiers, tuners, portable radios, and so on. Intrigued by this new technology, few of us realized what we were giving up by discarding vacuum tube equipment in favor of new solid-state hardware. But because personal storage space is never unlimited, the old stuff went away in favor of new stuff (which went away later). If you are reading this book (and there is a good chance that you are), you, like the author, have rediscovered what we all thought was out of date three or four decades ago.

The author can remember in the early 1970s literally running away from vacuum tube circuits to embrace transistor-based circuits. Transistors were—of course—better, smaller, cheaper, newer. And, most importantly, solid-state circuits always provided improved performance over their tube counterparts. Or so we all thought (or at least a lot of us thought). Looking back now with the benefit of history, it is clear that solid-state devices did some things very well and tubes did other things very well. Today, there is room for both in any entertainment center.

In preparation for this book, the author began collecting various types of vintage tube hardware from eBay and other sources with the intent of refurbishing it. These projects served as a reminder that: 1) this stuff is fun to work with; 2) circuits based on vacuum tubes are interesting; 3) circuits based on vacuum tubes are understandable (in contrast to many products today, which are really understood by only a very small number of people); and 4) vacuum tubes are actually quite reliable. The last point deserves some elaboration. The author, in his refurbishing projects, has found (to some surprise) that a lot of hardware built 50 years ago will actually still light up and do something useful (if the old electrolytics do not smoke first). The surprising find was that tubes, when properly cared for, actually were reliable. And they still are.

Technology Waves

It is useful to review the progression of consumer audio devices over the past few decades. They have tended to come in a series of waves. Various benchmarks or inflection points for consumer audio technologies can be identified; however, as a first-order approximation, the following general divisions seem to cover most of the bases.

Pre-1950

Characterized by physically large systems with limited features, pre-1950s audio equipment was usually nothing to write home about—or remember for that matter. These sets were, by and large, big pieces of furniture designed for one or two functions—radio and/or records. One bright spot in the stock receiver, however, was the typical frequency response of the AM radio circuits. During the 1950s as the number of AM radio stations grew rapidly, set designers had to adjust their filtering schemes to accommodate additional interference from nearby (and at night distant) stations. One common approach was to limit the bandwidth of the received signal. This limited interference, but, of course, also limited frequency response. The growth of AM radio was a classic case where success was not necessarily a good thing, at least from the standpoint of sonic performance. The pre-1950s receivers were invariably intended for fixed operation, some with the capability to add an external long-wire antenna for reception of shortwave broadcasts.

1950s Audio

The evolution in consumer electronics continued with improved receivers (frequency response notwithstanding) and higher-quality turntables. While the 45 record came on strong in the 1950s, the LP had also firmly established itself as the medium for high-fidelity listening at home. The large furniture-piece sets began to give way to smaller single-function devices. The extra space in the living room was, of course, quickly consumed by television receivers. (We won’t discuss their audio performance here.) Portable radios also appeared, using tubes at first, and powered by large dry-cell batteries (not rechargeable). Radios also started appearing in automobiles in large numbers, typically using innovative (if not elegant) methods of generating the necessary operating voltages for tubes from a 12 V DC power source (enter the vibrator device that chopped the direct-current source to simulate an alternating-current source, which was applied to a step-up transformer).

High-end audio equipment began appearing, marketed to an emerging discriminating audience. Some of these systems were very good—very, very good. With 3 dB frequency response points of less than 10 Hz and greater than 100 kHz, these amplifiers set the pace for high-fidelity systems that followed. This development is even more impressive when considering that virtually no source material existed that would fully take advantage of the capabilities of the amplifier—certainly not AM radio or even the developing FM radio, and certainly not the vinyl records then available.

1960s Audio

Behold the transistor radio. Small enough to fit in a shirt pocket, the capabilities of this miniature marvel were often described in terms of the number of transistors used. One would assume that a seven-transistor radio was better than a five-transistor radio. With their two-inch speakers, it was hard to tell the difference anyway. But, this new device gave consumers portability, and they liked it. Despite the inroads made by transistors, vacuum tubes still reigned supreme. Audio systems with high-quality turntables as the input source moved into mainstream use and ushered in a (here it comes) golden era of audio.

On the receiver side, reduction in size seemed to be the main trend, exemplified by the five-tube table-top AM radio shown in schematic form in Figure 1.2. The high-end models included a clock and wake to music alarm. FM receivers began to appear in large numbers, driven by the high-quality audio (and even stereo) programming available. The growing number of counterculture rock music stations didn’t hurt either. Reel-to-reel tape recorders also appeared at reasonable prices for consumers, with a limited selection of music available on reels of various sizes. Readers will recall the three common speeds (1-7/8, 3-3/4, and 7-1/2 inches per second) and the various reel sizes (3-1/2, 5, and 7 inches for consumer products).

FIGURE 1.2 Schematic diagram of the classic five-tube table-top AM radio. (From [1].)

Console Audio

The furniture radio set of 1950 came back in the 1960s as an entertainment center that included, depending on the model, an AM receiver, FM receiver, turntable, and perhaps television set. One could argue this was the last stand for audio furniture in the home. While the focus of these systems seemed to be mostly features and convenience rather than overall performance, they were the focal point of countless living rooms for many years. They also served to advance the concept of high-quality audio entertainment for consumers who were enamored with the shirt-pocket transistorized AM radio but recognized that some things are worth sitting down to listen to.

Component Audio

The 1970s were all about component audio. Designers took the console audio systems of the 1960s and broke them into discrete devices, reasoning they could enhance the performance and features in the process. They were right on both counts. Consumers loved them. The component audio system continued to evolve and reach a high level of sophistication and sonic performance. Systems could be found built using vacuum tubes, solid-state devices, or both. Some of the most innovative and memorable audio systems ever built were built in this era.

The genius of component audio was that it allowed consumers to build a system over time into exactly what they wanted it to be. Component audio systems also offered considerable flexibility in that units could be mixed and matched to yield just the system envisioned by the consumer. The interface/connector problems that bedevil consumers today were not really an issue in the 1970s and 1980s, as nearly every input and output (other than the speakers) used the trusty RCA connector. Couple this simplicity with look-alike styling that produced an attractive tower of audio and happy consumers were guaranteed.

Back to the Present

Component audio systems were the mainstay of consumer audio for decades—and for good reason. But like every trend in home appliances, the component system has been challenged by other approaches to consumer audio—most notably the personal audio player and the wide variety of accessory devices that have clustered around the player to embellish, extend, and otherwise enhance it. At the other extreme, the component architecture has been challenged by home server systems that harness the capabilities of computers and wired/wireless networks to store huge amounts of content and move it more or less seamlessly around the house to be consumed privately or collectively.

Along with the move toward personal audio (and video) players has come the notion that small is good—at least as it relates to audio entertainment devices. (The size of flatscreen video displays is another matter entirely—limited only by wall size and available funds.) The bookshelf (or even floor-standing) speakers that dominated living spaces in the 1980s and 1990s have been replaced in many homes by small speakers utilizing a common subwoofer. For a number of consumers, the performance is good enough and the prices are certainly attractive.

Having acknowledged there are trends, of course, does not mean everyone needs to follow them.

Tube vs. Solid State

The corner piece of the component audio system is—inevitably—the power amplifier. As transistors replaced tubes and integrated circuits replaced transistors and surface-mounted devices replaced integrated circuits, the measurable performance of audio systems has steadily improved, sometimes dramatically so. The benefits of solid-state technologies in low-level audio circuits are well known, beginning with noise and distortion performance. Similar attributes apply to radio frequency (RF) circuits. In the case of disc players (CD and DVD) it’s all about data, and what we generally consider audio plays a relatively minor role at the end of a long chain of logic gates. As for the power amplifier, however, the choice between solid-state and vacuum tubes is not so clear-cut.

While it is certainly true that solid-state preamplifiers (preamp) and power amplifiers solved a host of shortcomings of their predecessor vacuum tube amplifiers, a certain sonic quality was lost in the process. Often described in nonscientific terms, the warmth of the tube sound nonetheless exists and has attracted a loyal following. Vacuum tube–based audio equipment remains in demand and is likely to remain so for a long time.

Various explanations have been offered over the years to define the tube sound and how it differs from audio produced using solid-state devices. This comparison is made more difficult by the differing amplifier architectures that have been used to construct transistor-based power amplifiers in order to improve efficiency and/or measured performance. It is arguable, however, that identifying the characteristics that define the differences is not really all that important. It is probably sufficient to simply acknowledge that there are differences and accept them. As noted earlier in this chapter, audio is all about how humans react to it. How a selection of music is heard (perceived) is—in the end—more important than the documented transfer characteristics of the active devices contained in the amplifier.

Viewed objectively, it is evident that some very good vacuum tube amplifiers were offered to consumers, and some very bad ones were offered as well. The tradeoff between price point and performance is neither new nor limited to electronic devices. By the same token, there have been some very good solid-state amplifiers offered to consumers, and some very bad ones too.

Vacuum tubes (known in earlier times as receiving tubes or alternately as valves) include a wide range of devices, each for a specific class of applications. Devices include diodes, triodes, tetrodes, and pentodes, as illustrated in Figure 1.3. These devices hold an important position in high-fidelity audio.

FIGURE 1.3 The primary types of vacuum tubes. Variations also exist where combinations of these basic elements are enclosed within the glass envelope.

Engineering Tradeoffs

Designing a consumer product is almost always an exercise in tradeoffs. The variables include (but are certainly not limited to) complexity, component count, bill of materials, feature set, manufacturability, power requirements, cooling requirements, and time-to-market. A perfect audio device would likely be a commercial flop because it cost too much, consumed too much power, generated too much heat, and was never finished. Well, that may be a bit of an exaggeration, but perhaps not by much.

Design tradeoffs are a part of engineering. The first step in the design of any product is to clearly define what that product is supposed to do. The second step is to understand what the consumer wants from the product and how much they are willing to pay for it. Other engineering decisions branch out from there.

Basic System Choices

Focusing on vacuum tube audio amplifiers in general, and this book in particular, before setting out to build an amplifier, it is necessary to answer some basic questions:

• What is the intended application? Options include: 1) turntable preamp, 2) microphone preamp, 3) line-level preamp, 4) equalizer (tone control) preamp, or 5) power amplifier (and, of course, a power supply needed to make options 1–5 work). As a practical matter, any system will likely include some combination of these functions, and perhaps other functions as well. For the purpose of this book we will plan on all six functions listed here.

• What are the desired active devices? Options include: 1) solid-state, 2) vacuum tube, or 3) a combination of each. For a consumer product, this choice is fundamental and driven by many factors—some technical, some not. For the purpose of this book, however, it is clear the desired active devices will be vacuum tubes or a combination of tubes and solid-state devices. For a power amplifier, the required output level is a fundamental consideration that determines the overall architecture of the system (e.g., single-ended, push-pull, parallel, etc.).

• What is the intended form factor? Options include: 1) stand-alone device, 2) component system, 3) integrated with another device (such as a turntable or speaker), or 4) something else. The form factor dictates a major cost of the project—namely, the physical enclosure (case). For this book we will assume a component system built using off-the-shelf sheet metal components with limited custom cutting as needed.

• What is the preferred construction method? Options include: 1) printed wiring board (PWB), 2) hand-wired, or 3) a combination of both techniques. Any of the three approaches are practical for vacuum tube designs. While the PWB method results in simpler construction (once the PWB has been designed and produced) and a neater appearance, the heat generated by vacuum tubes must be considered. As such, a hybrid approach where the tubes are mounted on the metal chassis and tied by interconnecting wires to the PWB may be preferred. A completely hand-wired chassis is also an option—perhaps the sentimental favorite given the history of the vacuum tube. For experimentation or a one-off project, it’s hard to beat a hand-wired chassis for low cost, simplicity, and long-term performance.

• Will the design be limited to off-the-shelf components? In an effort to extract the last measure of performance from a tube amplifier, some audiophiles choose to build custom components, such as winding the output transformer to certain specifications. While the benefits of this approach can be significant for the experienced builder, for the purpose of this book the scope of the projects will be limited to off-the-shelf components. This approach makes certain assumptions about the level of detail that most readers are interested in for most projects most of the time.

• What is the maximum estimated cost for the finished unit? With any project or product, it is rare to encounter a situation where money is not a consideration. For the purpose of this book, unlimited funds will not be assumed. It is also important to point out that the estimated cost for most any project is often exceeded well before the project has been completed.

• How much time is available to build the unit? Like unlimited funds, unlimited time is usually in short supply as well. For this book it is assumed that while building an audio amplifier should be an enjoyable project, it should not consume the builder’s life.

• Do I have the technical ability to do this? Yes, of course you do!

Continuing Development of Vacuum Tubes

In the realm of vacuum tubes, there is a natural division between two fundamental classes of devices: receiving tubes and power tubes. Power vacuum tubes cover a wide range of devices, many exotic, and are still used in countless applications. Due to improvements in solid-state devices, power vacuum tube development has focused on high powers and high frequencies where their unique advantages can be exploited. The power levels possible with vacuum devices are truly astounding—many hundreds of kilowatts power output from a single device is not uncommon at ultra-high frequencies (UHF). No solid-state device can match this level of performance. This being the case, tube development continues as engineers push the limits of power output, maximum operating frequency, efficiency, and reliability.

The primary frontier in power vacuum tube development today is materials technology. New and improved devices depend on new and improved materials. This is an exciting area of applied science where evolutionary progress continues to be made.

Receiving tubes do not enjoy the same developmental effort on new devices, but producers are still exploring ways of improving classic models and optimizing production techniques. The continued demand for receiving tubes drives this work. Numerous retail sources exist for receiving tubes, both new and vintage stock.

Apart from continuing refinements in manufacturing methods, the last major technology advancement for the receiving tube was probably the integrated vacuum tube. This class of device, known by various trade names (e.g., Compactron), took the elements of various basic tube types and combined them to form a larger device that performed several functions. One example of this class of device is shown in Figure 1.4.

FIGURE 1.4 Example integrated vacuum tube containing two triodes and a pentode within a single glass envelope. This particular device (14BL11) was used in television receiver applications. (From [1]).

Standardization

The need for interchangeability of vacuum tubes in the 1930s and especially the 1940s for military applications drove product standardization and helped make tubes synonymous with electronics. Without a standardized scheme for device labeling, performance, and interconnection, the great advances in electronics made during this period would have been difficult—perhaps impossible.

Product standardization is important for the advancement of any industry—particularly the electronics industry where a large number of individual components is required to construct any single product. Standardization leads to a healthy commercial environment where multiple vendors work to develop new techniques and technologies that advance the science of component design and fabrication. In addition, having multiple vendors for a given device usually results in lower prices to the user.

Nomenclature

If a vacuum tube users group were to sit down and define a numbering/identification system for tubes today, it probably would come up with something quite different from what we actually have. One could imagine a nomenclature that would convey a great deal of information about the device itself. While imperfect, vacuum tube nomenclature is nonetheless stable and predictable, and given the number of devices typically used for audio applications, is quite manageable.

A user can typically assume that the same device type from any of several manufacturers will provide similar nominal performance. As with any product, of course, manufacturers seek to differentiate their offerings from competitors through various attributes, such as higher performance, longer life, and so on. For critical applications it may be necessary to use a particular brand of device to achieve the performance desired. By design, the applications contained in this book will not fall into the critical performance category.

It is fair to point out that some users have preferences for particular device brands, and while it may be hard to characterize empirically what those differences are, such preferences are nonetheless valid. Audio, after all, is all about perception of the reproduced sound. Personal preference and past experience can be more significant than any specifications sheet.

Fundamental Electrical Principles Reviewed

Before moving into vacuum tube theory, circuit design, and construction projects, it is worthwhile to review some of the fundamental electrical principles that all readers learned many years ago (perhaps decades ago). A short refresher is probably a good idea.

The Atom

The atomic theory of matter specifies that each of the many chemical elements is composed of unique and identifiable particles called atoms [2]. In ancient times only ten were known in their pure, uncombined form; these were carbon, sulfur, copper, antimony, iron, tin, gold, silver, mercury, and lead. Of the several hundred now identified, fewer than 50 are found in an uncombined, or chemically free, form on earth.

Each atom consists of a compact nucleus of positively and negatively charged particles (protons and electrons, respectively). Additional electrons travel in well-defined orbits around the nucleus. The electron orbits are grouped in regions called shells, and the number of electrons in each orbit increases with the increase in orbit diameter in accordance with quantum-theory laws of physics. The diameter of the outer orbiting path of electrons in an atom is in the order of one-millionth (10−6) millimeter, and the nucleus, one-millionth of that. These typical figures emphasize the minute size of the atom.

Magnetic Effects

The nucleus and the free electrons of an iron atom are shown in the schematic diagram in Figure 1.5 [2]. Note that the electrons are spinning in different directions. This rotation creates a magnetic field surrounding each electron. If the number of electrons with positive spins is equal to the number with negative spins, then the net field is zero and the atom exhibits no magnetic field.

FIGURE 1.5 Schematic of the iron (Fe) atom. (After [2].)

In the diagram, although the electrons in the first, second, and fourth shells balance each other, in the third shell five electrons have clockwise positive spins, and one a counterclockwise negative spin, which gives the iron atom in this particular electron configuration a cumulative magnetic effect.

The parallel alignment of electrons spins over regions, known as domains, containing a large number of atoms. When a magnetic material is in a demagnetized state, the direction of magnetization in the domain is in a random order. Magnetization by an external field takes place by a change or displacement in the isolation of the domains, with the result that a large number of the atoms are